NASFAA Authorized Event: How to Find Answers to Regulatory ...

2021-22AUTHORIZED EVENTS

HOW TO FIND ANSWERS TOREGULATORY QUESTIONS

Slide Handout

New Aid Officer Training – September 22, 2021

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September 2021

© 2021 NASFAA 1

NASFAA Authorized Event How to Find Answers to Regulatory Questions


Slide 1 © 2021 NASFAA

National Association of Student Financial Aid Administrators


How to Find Answers to Regulatory Questions

A NASFAA Authorized Event*

Presented byDavid Tolman, NASFAA

New Aid Officer Training

September 22, 2021


Agenda• Discuss the hierarchy of resources• Identify common starting points in searching

for answers to regulatory questions• Learn what resources are available to assist

in research• Learn how to navigate some of these

resources


Hierarchy of Resources

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Statutory

Regulatory

Subregulatory


HEA

Regulatory

Subregulatory


Laws create and amend the Title IV programs

• Passed by Congress

• Higher Education Act of 1965 (HEA), as amended

• Law supersedes regulations

• Federal law takes precedence over state law

Statutory Resources

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Types of Statute

• Authorizing– Provides the legal authority for an agency or

program to exist and operate– HEA (Title IV)– Reauthorized periodically

• Appropriations– Provides funding for programs and operations

Regular appropriations, continuing resolutions, supplemental appropriations

– Sometimes include policy riders that change existing requirements or impose new requirements


Statutory

Regulatory

Subregulatory


HEA

34 CFR

Subregulatory

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Have you directly read any Title IV regulation? Yes

No

I’m not sure

Poll Question


• Regulations

– Implement the law and govern actions of program participants

– Provide procedural guidance in the management of the programs

– Have the “force of law”

• Negotiated Rulemaking between the Executive Branch (ED) and stakeholders in the higher education community

Regulatory Resources


NPRM Process

Negotiated Rulemaking

• ED selects committee

• Consensus/No Consensus

ED issues NPRM in Federal Register

• Explains proposed changes

• Invites public comments

ED issues Final Rule in Federal

Register

• Effective date depends upon when rule issued

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• Identify regulatory parts, programs affected, and action being taken

• Contain summary statement identifying

– Purpose of the regulation

– Broad topics covered

• Lists individual(s) and contact information for further information about the package

Preambles to NPRMs and Final Rules


Contains background information about the proposed changes

• Applicable statutory and/or current regulatory references

• Description of what would change

• ED’s reason(s) for making the change

Preamble to an NPRM


Preamble to an NPRM

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Preamble to an NPRM


Preamble to an NPRM


• Identifies date the regulations become effective– May have more than one effective date– May have implementation date that differs from the

effective date

• Summarizes comments received and includes ED’s responses to comments– If change made, notes and explains change made – If no change made, explains reason(s) ED did not

make the change

Preamble to a Final Rule

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Code of Federal Regulations (CFR)

• The collection of final regulations published in the Federal Register– Available online at ecfr.gov

• Divided into 50 titles representing broad categories of regulation– Education regulations are located under title 34

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Parts of 34 CFR• Part 86 Drug Free Schools and Campus

• Part 99 Family Education Rights and Privacy

• Part 600 Institutional Eligibility

• Part 601 Institution and Lender Requirements Relating to Education Loans

• Part 602 Secretary’s Procedures and Criteria for Recognition of Accrediting Agencies

• Part 603 Secretary’s Recognition Procedures for State Agencies


Parts of 34 CFR• Part 668 Student Assistance General Provisions

• Part 673 General Provisions for Federal Perkins Loan, Federal Work-Study and Federal Supplemental Educational Opportunity Grant Programs

• Part 674 Federal Perkins Loan Program

• Part 675 Federal Work-Study Program

• Part 676 Federal Supplemental Educational Opportunity Grant Program


Parts of 34 CFR• Part 682 Federal Family Education Loan Programs

• Part 685 William D. Ford Federal Direct Student Loan Program

• Part 686 Teacher Education Assistance for College and Higher Education (TEACH) Grant Program

• Part 690 Federal Pell Grant Program

• Part 694 Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP)

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Where to Find the Regulations

https://ecfr.gov

Select “Getting Started”



https://ecfr.gov



https://ecfr.gov

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https://www.nasfaa.org

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New Regulations Effective July 1

Retired Regulations





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Statutory

Regulatory

Subregulatory


HEA

34 CFR 668GEN-21-06

Electronic Announcement, 9/01/21


• Help explain meaning of regulations

• Available on the Department of Education’s (ED’s) FSA Knowledge Center website

• Major subregulatory resources include FSA Handbook, Dear Colleague Letters, Electronic Announcements, and other ED guides

Subregulatory Resources

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• Includes ED guidance in areas that the law prohibits ED from regulating, such as:

– Part F of the HEA

Need analysis

Cost of attendance

Professional judgment

Subregulatory Resources


Poll Question

Which is an example of a regulation?

HEA 472(A)

685.210 Choice of Repayment Plan

2020-21 FSA Handbook, Volume 3

Dear Colleague Letter


Common Starting Points

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Poll Question

Where do you typically start? Federal Student Aid Handbook Knowledge Center home page NASFAA Ask Regs A coworker or supervisor Other


https://fsapartners.ed.gov/knowledge-center


FSA Knowledge Center

• Federal Student Aid Handbook• Electronic Announcements• Dear Colleague Letters• Federal Register Notices• Questions and Answers

– Program Integrity Return of Title IV Funds Satisfactory Academic Progress

– COVID-19• FSA Training Conference Presentations

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https://www.nasfaa.org


NASFAA Resources

• AskRegs Knowledgebase and Q&A Service• Student Aid Index• Compiled Regulations• Tax Transcript Decoder• Monographs• Member-generated Content Library


So Where Should I Start?

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It Depends!

¯\_(ツ)_/¯


Questions to Consider

• Is it an area of the law which is regulated?

• Is it a topic with recently issued guidance?

• Is the topic related primarily to policy (what is required), or to operations (how to do something)?

• Who is the information intended for?


Areas Prohibited from Regulation

• Part F of the HEA which includes– Need analysis

– Cost of attendance

– Professional judgment

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FSA Handbook

• One of the most comprehensive resources, and usually a good place to start

• There are some helpful techniques to get the most out of it…


FSA Handbook Tips

1. Know the Volumes


FSA Handbook Volumes

• Application and Verification Guide (AVG)• Vol. 1 – Student Eligibility• Vol. 2 – School Eligibility and Operations• Vol. 3 – Calculating Awards and Packaging• Vol. 4 – Processing Aid and Managing Funds• Vol. 5 – Withdrawals and the Return of Title

IV Funds• Vol. 6 – The Campus-Based Programs

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FSA Handbook Tips

1. Know the Volumes2. Learn the Table of Contents


Application and Verification Guide

1. The Application Process2. Filling Out the FAFSA3. Expected Family Contribution4. Verification, Updates, and Corrections5. Special Cases


Chapter 1 – Student Eligibility

1. School-Determined Requirements2. U.S. Citizenship and Eligible Noncitizens3. NSLDS Financial Aid History4. Social Security Number5. Selective Service6. Eligibility for Specific FSA Programs

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FSA Handbook Tips

1. Know the Volumes2. Learn the Table of Contents3. Remember the Appendices


FSA Handbook Appendices

A. Glossary and AcronymsB. Technical Resources and AssistanceC. Actions a School Can Take When a

Student DiesD. The FSA AssessmentsE. Miscellaneous Business Office FunctionsF. Institutional Reporting and Disclosure

RequirementsG. HEA Table of Contents


FSA Handbook Tips

1. Know the Volumes2. Learn the Table of Contents3. Remember the Appendices4. Use the Sidebars

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FSA Handbook Tips

1. Know the Volumes2. Learn the Table of Contents3. Remember the Appendices4. Use the Sidebars5. Cross-reference to the Law, Regulations,

and Other Resources


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FSA Handbook Tips

1. Learn the Table of Contents2. Remember the Appendices3. Use the Sidebars4. Cross-reference to the Law, Regulations,

and Other Resources5. Learn when not to start with the Handbook

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Resources Beyond the FSA Handbook


NASFAA Student Aid Reference Desk

• A centralized list of important financial aid regulations, legislation, and other key resources

• Direct links to applicable guidance by topic• Available to everyone


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AskRegs

• Database of compiled answers to regulatory questions NASFAA has received

• Portal to submit regulatory questions to NASFAA training and regulatory staff

• Available to NASFAA members


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Other Helpful Hints

• Be Brave!• Practice Makes Professional• Patience and Persistence• Preserve Your Answers• Ask for a Helping Hand


Thank you for attending!

Learn more about the class schedules, topics covered, and instructors for each of our online courses at www.nasfaa.org/Online_Courses

Get the credit YOU deserve!NASFAA U offers a nationally-recognized, consistent, and rigorous program of education in administering the Title IV student financial aid programs. Both new and seasoned financial aid professionals will benefit from a NASFAA U education, helping you to become more proficient, more knowledgeable, and more valuable to

your organization —all while working towards earning a NASFAA Credential or NASFAA U Certificate.

ONLINE COURSE TOPICS INCLUDE:Fundamentals of

Student Financial Aid

Verification

Return of Title IV Funds

Satisfactory Academic Progress

Student Eligibility

Campus-Based Programs

Cost of Attendance

Federal Pell Grants & Iraq and Afghanistan Service Grants

Consumer Information

Direct Loans

Need Analysis

Packaging and Aid Notification

Professional Judgment

Cash Management

Administrative Capability

Application Processing

Fundamentals of Enrollment Management

1801 PENNSYLVANIA AVENUE NW, SUITE 850WASHINGTON, DC 20006

202.785.0453 FAX. 202.785.1487 WWW.NASFAA.ORG

The National Association of Student Financial Aid Administrators (NASFAA)

provides professionaldevelopment for financial

aid administrators; advocates for public policies that increase

student access and success;serves as a forum on student financial aid issues; and is

committed to diversitythroughout all activities.

© 2021 National Association of Student Financial Aid Administrators

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